End-Users Are Dodd-Frank Collateral Damage According To CFTC Commissioner By Steve Quinlivan on 01/29/2015 … Continue Reading End-Users Are Dodd-Frank Collateral Damage According To CFTC Commissioner
PCAOB Alerts on Deficiencies in Broker-Deal Audits By Steve Quinlivan on 01/28/2015 … Continue Reading PCAOB Alerts on Deficiencies in Broker-Deal Audits
SEC Grants Second Bad Actor Waiver With Conditions By Steve Quinlivan on 01/27/2015 … Continue Reading SEC Grants Second Bad Actor Waiver With Conditions
SEC Eases Terms for 5-Day Debt Tender Offers By Jill Radloff on 01/25/2015 … Continue Reading SEC Eases Terms for 5-Day Debt Tender Offers
Business Roundtable Gives ISS its Views on Proxy Access By Steve Quinlivan on 01/23/2015 … Continue Reading Business Roundtable Gives ISS its Views on Proxy Access
Amicus Briefs Pour in for Wal-Mart Shareholder Proposal Case By Steve Quinlivan on 01/23/2015 … Continue Reading Amicus Briefs Pour in for Wal-Mart Shareholder Proposal Case
Interchange Fee Battle Comes to an End By Steve Quinlivan on 01/21/2015 … Continue Reading Interchange Fee Battle Comes to an End
SEC Finds Loan to Investment Adviser’s CEO a Conflict of Interest By Steve Quinlivan on 01/20/2015 … Continue Reading SEC Finds Loan to Investment Adviser’s CEO a Conflict of Interest
Model Rule Exempting M&A Brokers Proposed by NASAA By David Jenson on 01/18/2015 … Continue Reading Model Rule Exempting M&A Brokers Proposed by NASAA
No More SEC No-Action Letters on Proxy Access Proposals By Steve Quinlivan on 01/16/2015 … Continue Reading No More SEC No-Action Letters on Proxy Access Proposals